Part 1. Overview Information

Key Dates

It is critical that applicants follow the instructions in the How to Apply - Application Guide, as appropriate except where instructed to do otherwise (in this NOFO or in a Notice from the NIH Guide for Grants and Contracts). Conformance to all requirements (both in the How to Apply - Application Guide and the NOFO) is required and strictly enforced. Applicants must read and follow all application instructions in the How to Apply - Application Guide as well as any program-specific instructions noted in Section IV. When the program-specific instructions deviate from those in the How to Apply - Application Guide, follow the program-specific instructions. Applications that do not comply with these instructions may be delayed or not accepted for review.

There are several options available to submit your application through Grants.gov to NIH and Department of Health and Human Services partners. You must use one of these submission options to access the application forms for this opportunity.

1. Use the NIH ASSIST system to prepare, submit and track your application online.
2. Use an institutional system-to-system (S2S) solution to prepare and submit your application to Grants.gov and eRA Commons to track your application. Check with your institutional officials regarding availability.
   
   
3. Use Grants.gov Workspace to prepare and submit your application and eRA Commons to track your application.



Table of Contents
Part 1. Overview Information
Key Dates
Part 2. Full Text of Announcement
Section I. Notice of Funding Opportunity Description
Section II. Award Information
Section III. Eligibility Information
Section IV. Application and Submission Information
Section V. Application Review Information
Section VI. Award Administration Information
Section VII. Agency Contacts
Section VIII. Other Information

Part 2. Full Text of Announcement

Section I. Notice of Funding Opportunity Description

Background

The Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) programs are congressionally mandated set-aside programs for U.S. small businesses to engage in research and development (R&D) that has a strong potential for commercialization. The SBIR program is intended to meet the following goals: stimulate technological innovation in the private sector; strengthen the role of small business in meeting Federal research or R&D needs, increase the commercial application of Federally-supported research results; foster and encourage participation by socially and economically disadvantaged and women-owned small businesses. The STTR program is intended to stimulate a partnership of ideas and technologies between innovative small business concerns and non-profit research institutions through Federally funded R&D. By providing awards to small businesses for cooperative R&D efforts with non-profit research institutions, the STTR program assists the small business and research communities by commercializing innovative technologies.

The National Institutes of Health (NIH) has a commitment to supporting a sustainable and diverse scientific workforce (see Notice of NIH's Interest in Diversity, NOT-OD-20-031). Research shows that diverse teams working together and capitalizing on innovative ideas and distinct perspectives outperform homogeneous teams. Scientists and trainees from diverse backgrounds and life experiences bring different perspectives, creativity, and individual enterprise to address complex scientific problems. There are many benefits that flow from a diverse NIH-supported scientific workforce, including: fostering scientific innovation, enhancing global competitiveness, contributing to robust learning environments, improving the quality of research, advancing the likelihood that underserved populations and those that experience health disparities and inequities participate in and benefit from health research, and enhancing public trust. Fostering and encouraging participation by socially and economically disadvantaged and women-owned small businesses is also critical to the success of the SBIR and STTR programs. See, National Academies of Sciences, Engineering, and Medicine. 2022. Assessment of the SBIR and STTR Programs at the National Institutes of Health. Washington, DC: The National Academies Press. https://doi.org/10.17226/26376.

Purpose

The NIH and Centers for Disease Control and Prevention (CDC) hereby notify Small Business Concerns (SBCs) whose research is supported by SBIR and STTR grants that funds are available for administrative supplements to enhance the diversity of the research and entrepreneurial workforce by recruiting, mentoring, and supporting students, postdoctoral scholars, and eligible investigators from diverse backgrounds, including those from groups that have been shown to be underrepresented in health-related research. The activities proposed in the supplement application must fall within the scope of the parent grant, and simultaneously advance the objectives of the parent grant and support the research training and professional development of the supplement candidate.

This administrative supplement is designed to provide support for research and entrepreneurial experiences for individuals from diverse backgrounds from undergraduate to the faculty level. Continuation of this program in the future will depend on evaluation of the career outcomes of the supported individuals and other measures as discussed in Section VI. Evaluation.

In all cases, the proposed research experience must be an integral part of the approved ongoing research of the parent award and must have the potential to contribute significantly to the research career development of the candidate.

For the purpose of this announcement, SBCs are encouraged to recruit  individuals who will enhance diversity of the national research and entrepreneurial workforce, including those from groups that have been shown to be underrepresented in health-related research. Please note that consistent with NIH practice and applicable law, funded programs may not use the race, ethnicity, or sex of prospective program participants or faculty as an eligibility or selection criteria. The race, ethnicity, or sex of candidates will not be considered in the application review process or when making funding decisions.

Note: This NOFO is designed specifically for applicants proposing research that does not involve leading an independent clinical trial, a clinical trial feasibility study, or an ancillary clinical trial. Applicants to this NOFO are permitted to propose research experience in a clinical trial led by a mentor or co-mentor.

All applicants are encouraged to contact program staff listed in Section VII. Agency Contacts.

See Section VIII. Other Information for award authorities and regulations.

Section II. Award Information

NIH grants policies as described in the NIH Grants Policy Statement will apply to the applications submitted and awards made from this Notice of Funding Opportunity (NOFO). CDC grants policies will apply to the applications submitted and awards made from this NOFO to participating CDC components.

Section III. Eligibility Information

1. Eligible Applicants

Only United States small business concerns (SBCs) are eligible to submit applications for this opportunity. A small business concern is one that, at the time of award of Phase I and Phase II, meets all of the following criteria:
 

1. Is organized for profit, with a place of business located in the United States, which operates primarily within the United States or which makes a significant contribution to the United States economy through payment of taxes or use of American products, materials or labor;

2. Is in the legal form of an individual proprietorship, partnership, limited liability company, corporation, joint venture, association, trust or cooperative, except that where the form is a joint venture, there must be less than 50 percent participation by foreign business entities in the joint venture;

3.

1. SBIR and STTR.  Be a concern which is more than 50% directly owned and controlled by one or more individuals (who are citizens or permanent resident aliens of the United States), other business concerns (each of which is more than 50% directly owned and controlled by individuals who are citizens or permanent resident aliens of the United States), an Indian tribe, ANC or NHO (or a wholly owned business entity of such tribe, ANC or NHO), or any combination of these; OR
2. SBIR-only.  Be a concern which is more than 50% owned by multiple venture capital operating companies, hedge funds, private equity firms, or any combination of these.  No single venture capital operating company, hedge fund, or private equity firm may own more than 50% of the concern, unless that single venture capital operating company, hedge fund, or private equity firm qualifies as a small business concern that is more than 50% directly owned and controlled by individuals who are citizens or permanent resident aliens of the United States; OR
3. SBIR and STTR.  Be a joint venture in which each entity to the joint venture must meet the requirements set forth in paragraph 3 (i) or 3 (ii) of this section. A joint venture that includes one or more concerns that meet the requirements of paragraph (ii) of this section must comply with § 121.705(b) concerning registration and proposal requirements.

4. Has, including its affiliates, not more than 500 employees.

If the concern is more than 50% owned by multiple venture capital operating companies, hedge funds, private equity firms, or any combination of these falls under 3 (ii) or 3 (iii) above, see Section IV. Application and Submission Information for additional instructions regarding required application certification.

If an Employee Stock Ownership Plan owns all or part of the concern, each stock trustee and plan member is considered an owner.

If a trust owns all or part of the concern, each trustee and trust beneficiary is considered an owner.

Definitions:

• Hedge fund has the meaning given that term in section 13(h)(2) of the Bank Holding Company Act of 1956 (12 U.S.C. 1851(h)(2)). The hedge fund must have a place of business located in the United States and be created or organized in the United States, or under the law of the United States or of any State.
• Portfolio company means any company that is owned in whole or part by a venture capital operating company, hedge fund, or private equity firm.
• Private equity firm has the meaning given the term “private equity fund” in section 13(h)(2) of the Bank Holding Company Act of 1956 (12 U.S.C. 1851(h)(2)). The private equity firm must have a place of business located in the United States and be created or organized in the United States, or under the law of the United States or of any State.
• Venture capital operating company means an entity described in § 121.103(b)(5)(i), (v), or (vi). The venture capital operating company must have a place of business located in the United States and be created or organized in the United States, or under the law of the United States or of any State.
• ANC means Alaska Native Corporation.
• NHO means Native Hawaiian Organization.

SBCs must also meet the other regulatory requirements found in 13 C.F.R. Part 121. Business concerns, other than investment companies licensed, or state development companies qualifying under the Small Business Investment Act of 1958, 15 U.S.C. 661, et seq., are affiliates of one another when either directly or indirectly, (a) one concern controls or has the power to control the other; or (b) a third-party/parties controls or has the power to control both. Business concerns include, but are not limited to, any individual (sole proprietorship) partnership, corporation, joint venture, association, or cooperative. The How to Apply – Application Guide should be referenced for detailed eligibility information.

Small business concerns that are more than 50% owned by multiple venture capital operating companies, hedge funds, private equity firms, or any combination of these are NOT eligible to apply to the NIH STTR program.
 

Performance Benchmark Requirements

Phase I to Phase II Transition Rate Benchmark: In accordance with guidance from the SBA, the HHS SBIR/STTR Program is implementing the Phase I to Phase II Transition Rate benchmark required by the SBIR/STTR Reauthorization Act of 2011 and the SBIR and STTR Extension Act of 2022.The benchmark establishes a minimum number of Phase II awards the company must have received relative to a given number of Phase I awards received during the 5-fiscal year time period. The Transition Rate is calculated as the total number of SBIR and STTR Phase II awards a company received during the past 5 fiscal years divided by the total number of SBIR and STTR Phase I awards it received during the past 5 fiscal years excluding the most recently completed year. The Transition Rate requirement, agreed upon and established by all 11 SBIR agencies, was published for public comment in a Federal Register Notice on October 16, 2012 (77 FR 63410) and amended on May 23, 2013 (78 FR 30951).

• For SBIR and STTR Phase I applicants that have received more than 20 Phase I awards over the past 5 fiscal years (excluding the most recently-completed fiscal year): Companies that do not meet or exceed the benchmark minimum Transition Rate of 0.25 will not be eligible to apply for a Phase I, Fast-Track, or Direct Phase II (if available) award for a period of one year from the date of the application submission. This requirement does not apply to companies that have received 20 or fewer Phase I awards over the prior 5-fiscal year period.
• For application deadlines that fall on or after April 5, 2023: For SBIR and STTR Phase I applicants that have received more than 50 Phase I awards over the past 5 fiscal years (excluding the most recently-completed fiscal year): Companies that do not meet or exceed the benchmark minimum Transition Rate of 0.5 will not be eligible to receive more than 20 total Phase I and Phase II awards for a period of one year from the date on which such determination is made. This requirement does not apply to companies that have received 50 or fewer Phase I awards over the 5-fiscal year period.

On June 1 of each year, SBA will identify the companies that fail to meet minimum performance requirements. SBA calculates individual company Phase I to Phase II Transition Rates using SBIR and STTR award information across all federal agencies. SBA will notify companies and the relevant officials at the participating agencies. More information on the Phase I to Phase II Transition Rate requirement is available at SBIR.gov.

Phase II to Commercialization Benchmark: In accordance with guidance from the SBA, the HHS SBIR/STTR Programs are implementing the Phase II to Commercialization Rate benchmark for Phase I applicants, as required by the SBIR/STTR Reauthorization Act of 2011 and the SBIR and STTR Extension Act of 2022. The Commercialization Rate Benchmark was published in a Federal Register notice on August 8, 2013 (78 FR 48537), with a reopening of the comment period published on September 26, 2013 (78 FR 59410).

• For companies that have received more than 15 Phase II awards from all agencies over the past 10 fiscal years (excluding the two most recently completed fiscal year): Companies that meet this criterion must show an average of at least $100,000 in revenues and/or investments per Phase II award or at least 0.15 (15%) patents per Phase II award resulting from these awards during the past 10- fiscal year period. Applicants that fail this benchmark will not be eligible to apply for New Phase I, Fast-track or Direct Phase II (if applicable) awards for a period of one year. This requirement does not apply to companies that have received 15 or fewer Phase II awards over the 10-fiscal year period, excluding the two most recently completed fiscal years.
• For application deadlines that fall on or after April 5, 2023: For companies that have received more than 50 Phase II awards from all agencies over the past 10-fiscal years (excluding the two most recently completed Fiscal Year): Companies that meet this criterion must show an average of at least $250,000 of aggregated sales and investment per Phase II award over the past 10-fiscal year period. Applicants that fail this benchmark will not be eligible to receive more than 20 total Phase I and Phase II awards for a period of one year from the date on which such determination is made. This requirement does not apply to companies that have received 50 or fewer Phase II awards over the 10-fiscal year period, excluding the two most recently completed fiscal years.
• For application deadlines that fall on or after April 5, 2023: For companies that have received more than 100 Phase II awards from all agencies over the past 10-fiscal years (excluding the two most recently completed Fiscal Year): Companies that meet this criterion must show an average of at least $450,000 of aggregated sales and investment per Phase II award over the past 10-fiscal year period. Applicants that fail this benchmark will not be eligible to receive more than 20 total Phase I and Phase II awards for a period of one year from the date on which such determination is made. This requirement does not apply to companies that have received 100 or fewer Phase II awards over the 10-fiscal year period, excluding the two most recently completed fiscal years.

This funding opportunity is for supplements to existing projects. To be eligible, the parent award must be active and the research proposed in the supplement must be accomplished within the competitive segment. The proposed supplement must be to provide for an increase in costs due to unforeseen circumstances. All additional costs must be within the scope of the peer reviewed and approved project.

IMPORTANT: The research proposed by the NIH or CDC recipient in the supplement application must be within the original scope of the parent grant that is supported by respective funding organization (e.g., NIH or CDC).

Non-domestic (non-U.S.) Entities (Foreign Organizations) are not eligible to apply.

Non-domestic (non-U.S.) components of U.S. Organizations are not eligible to apply.

Foreign components, as defined in the NIH Grants Policy Statement, may be allowed. 

Applicant Organizations

Applicant organizations must complete and maintain the following registrations as described in the How to Apply – Application Guide to be eligible to apply for or receive an award. All registrations must be completed prior to the application being submitted. Registration can take 6 weeks or more, so applicants should begin the registration process as soon as possible. Failure to complete registrations in advance of a due date is not a valid reason for a late submission, please reference NIH Grants Policy Statement 2.3.9.2 Electronically Submitted Applications for additional information.

• System for Award Management (SAM) – Applicants must complete and maintain an active registration, which requires renewal at least annually. The renewal process may require as much time as the initial registration. SAM registration includes the assignment of a Commercial and Government Entity (CAGE) Code for domestic organizations which have not already been assigned a CAGE Code.
  • Unique Entity Identifier (UEI) – A UEI is issued as part of the SAM.gov registration process. The same UEI must be used for all registrations, as well as on the grant application.
• SBA Company Registry – See How to Apply – Application Guide for instructions on how to register and how to attach proof of registration to your application package. Applicants must have a UEI to complete this registration. SBA Company registration is NOT required before SAM, Grants.gov or eRA Commons registration.
• eRA Commons – Once the unique organization identifier is established, organizations can register with eRA Commons in tandem with completing their Grants.gov registration; all registrations must be in place by time of submission. eRA Commons requires organizations to identify at least one Signing Official (SO) and at least one Program Director/Principal Investigator (PD/PI) account in order to submit an application.
• Grants.gov – Applicants must have an active SAM registration in order to complete the Grants.gov registration.

Program Directors/Principal Investigators (PD(s)/PI(s))

All PD(s)/PI(s) must have an eRA Commons account.  PD(s)/PI(s) should work with their organizational officials to either create a new account or to affiliate their existing account with the applicant organization in eRA Commons. If the PD/PI is also the organizational Signing Official, they must have two distinct eRA Commons accounts, one for each role. Obtaining an eRA Commons account can take up to 2 weeks.

Individual(s) must have support under an active grant or cooperative agreement, and the research proposed in the supplement must be accomplished within the competitive segment of the active award. Individuals are encouraged to work with their organizations to develop applications for support.Individuals from diverse backgrounds, including underrepresented racial and ethnic groups, individuals with disabilities, and women are always encouraged to apply for NIH or CDC support. See, Reminder: Notice of NIH's Encouragement of Applications Supporting Individuals from Underrepresented Ethnic and Racial Groups as well as Individuals with Disabilities, NOT-OD-22-019.

For supplements to parent awards that include multiple PDs/PIs, the supplement may be requested by any or all of the PDs/PIs (in accordance with the existing leadership plan) and submitted by the recipient organization of the parent award. Do not use this administrative supplement application to add, delete, or change the PDs/PIs listed on the parent award. Visit the Multiple Program Director/Principal Investigator Policy in the How to Apply - Application Guide for more information.

2. Cost Sharing

This NOFO does not require cost sharing as defined in the NIH Grants Policy Statement Section 1.2 Definition of Terms. For CDC awards, this NOFO does not require cost sharing as defined in the HHS Grants Policy Statement.

3. Additional Information on Eligibility

Contractual/Consortium Arrangements

In Phase I, normally, two-thirds or 67% of the research or analytical effort is carried out by the small business concern. The total amount of all consultant and contractual arrangements to third parties for portions of the scientific and technical effort is generally not more than 33% of the total amount requested (direct, F&A/indirect, and fee).

In Phase II, normally, one-half or 50% of the research or analytical effort is carried out by the small business concern. The total amount of consultant and contractual arrangements to third parties for portions of the scientific and technical effort is generally not more than 50% of the total Phase II amount requested (direct, F&A/indirect, and fee).

Deviations from these requirements may be considered on a case by case basis. Please contact a program officer for additional information. Deviations must be approved in writing by the Grants Management Officer (GMO) after consultation with the agency SBIR Program Manager/Coordinator.

For STTR:

In Phase I and Phase II, at least 40% of the research or analytical effort must be performed by the small business concern and at least 30% of the research or analytical effort must be performed by the single, “partnering” research institution. The basis for determining the percentage of work to be performed by each of the cooperative parties will be the total of direct, F&A/indirect costs, and fee attributable to each party, unless otherwise described and justified in “Consortium/Contractual Arrangements” of the PHS 398 Research Plan component of the SF424 (R&R) application forms.

A small business concern may subcontract a portion of its SBIR or STTR award to a Federal laboratory within the limits above. A Federal laboratory, as defined in 15 U.S.C. § 3703, means any laboratory, any federally funded research and development center, or any center established under 15 U.S.C. §§ 3705 & 3707 that is owned, leased, or otherwise used by a Federal agency and funded by the Federal Government, whether operated by the Government or by a contractor.

The basis for determining the percentage of work to be performed by each of the cooperative parties in Phase I or Phase II will be the total of the requested costs attributable to each party, unless otherwise described and justified in “Consortium/Contractual Arrangements” of the PHS 398 Research Plan component of SF424 (R&R) application forms.

Additional details are contained in the SF424 (R&R) SBIR/STTR Application Guide. 

Number of Applications

A parent award may support more than one individual on a supplement; however, each request must be strongly justified and include assurances that each candidate will receive appropriate mentoring. Investigators are encouraged to recruit more than one undergraduate student for support by a supplemental award. Appointment of more than one individual to a single award above undergraduate level depends on the nature of the parent grant, the circumstances of the request, and the program balance of the NIH or CDC awarding component. Candidates may receive support from only one administrative supplement at a time but may be supported by more than one supplement during the development of their research careers. Support under the supplement is not transferable to another individual or transportable to another parent grant. Requirements may vary by awarding IC. See Table of IC-Specific Information, Requirements and Staff Contacts for more details.

Since applications in response to this announcement will only receive administrative review by the awarding Institute or Center, and will not receive peer review, the NIH policy on resubmissions will not apply. However, applications not accepted by the Institute or Center for review or not funded by the Institute or Center should not be submitted again without either responding to any written concerns or contacting the awarding Institute or Center for instructions first.

Eligible Candidates for the Supplement Program

The strength of an institution's description of how the candidate furthers the goals of the program will be considered, consistent with applicable law, along with all other aspects of the proposed experience (see Review Criteria in Section V. Application Review Information). Examples of factors that may be considered in evaluating an application include the proposed candidate’s area of scientific interest or relevant extracurricular programs.Factors that will not be used to make eligibility or funding decisions include the proposed candidate’s race, ethnicity, or sex (including gender identity, sexual orientation, or transgender status).

Supplemental awards under this announcement are limited to citizens or non-citizen nationals of the United States or to individuals who have been lawfully admitted for permanent residence in the United States (i.e., in possession of a Permanent Resident Card, Form I-551). This program may not be used to provide technical support to NIH- or CDC-supported investigators.

Note: PD(s)/PI(s) should encourage candidates to work with their institutions to submit applications for fellowships, career development awards, research grants, and other sources of independent support before the supplement period ends.

PD(s)/PI(s) are encouraged to consider administrative supplements under this program for candidates at the following career levels:

Undergraduate Students: As part of this supplement program, undergraduate students with a demonstrated interest in or desire to pursue research training in health-related sciences and entrepreneurship, may participate in a research project during the summer months and/or the academic year. This experience is separate from any requirement of the regular academic program. The student may be affiliated with either the small business concern or another academic institution. Any eligible undergraduate student interested in health-related research and entrepreneurship is encouraged to participate in this program.

Baccalaureate and Master's Degree Holders: This supplement will provide opportunities for baccalaureate or master's degree holders who have demonstrated an interest in and wish to pursue research training in health-related sciences and entrepreneurship. The duration of the program is normally 6 months to 1 year, but the research experience can be extended for an additional year if evidence is provided to show that the candidate is actively pursuing entry into a graduate, business, or a health professions school or is pursuing development of a small business concern. Students who plan to attend medical, dental or other professional schools are encouraged to use this program to gain research experience.

Graduate (Predoctoral) and Health Professional Students: The objective of this program is to support graduate students in biomedical, behavioral, clinical or social sciences, and health professional students who wish to develop their research and entrepreneurial capabilities. However, because this program is not intended to provide an alternative or additional means of supporting individuals who receive support from an NIH research grant, a Ruth L. Kirschstein National Research Service Award (Kirschstein-NRSA), or any other PHS funding mechanism, students who are supported by an institutional Kirschstein-NRSA may not be transferred to supplemental support prior to the completion of their appointed period of training. In addition, individuals may not be transferred to a supplement to increase the availability of funds to the parent grant for other uses.

Individuals in Postdoctoral Training: These supplements support individuals in the postdoctoral phase of their training who wish to participate as researchers in ongoing research projects and career development experiences in preparation for an independent career leading health-related research and development small businesses. This experience must serve as a means of assisting the postdoctoral fellow's development into a productive researcher in health-related science at a small business. Because this program is not intended to provide an alternative or additional means of supporting individuals who receive support from PHS funding mechanisms, individuals in postdoctoral training who are supported by an institutional Kirschstein-NRSA may not be transferred to supplemental support prior to the completion of their appointed period of training. In addition, individuals may not be transferred to a supplement to increase the availability of funds to the parent grant for other uses. The individual in postdoctoral training may be affiliated with either the SBC or some other institution. Only under extraordinary circumstances, which must be well justified in the application, would it be acceptable for the postdoctoral candidate to work with his/her former predoctoral mentor.

Investigators Developing Independent Research Careers: These supplements provide either short or long-term research support for individuals who wish to participate in ongoing research projects while further developing their own research potential, to enhance their research and entrepreneurial skills, and establish an independent research career.

1. Short-term Investigator Research Supplement: This supplement provides short-term support for individuals to conduct full-time research in the biomedical, behavioral, clinical, or social sciences for three to five months each year during the summer or another portion of the academic year, over a maximum period of four years at a SBC.Examples of this may include researchers at teaching-intensive schools who wish to pursue short-term research experiences in ongoing projects while further developing their own research potential, to enhance their research skills and establish an independent research career.
2. Long-term Investigator Research Supplement: This supplement provides long-term research support for individuals to conduct research in the biomedical, behavioral, clinical, or social sciences. Support is usually provided for up to two years at a minimum of 9 person months (equivalent to 75% effort) during each 12-month period.The expectation is that the project will enhance the supplement candidate's ability to compete for independent grant support.

In either case (1 or 2 above), the investigator may be affiliated with the SBC or some other institution. The investigator must be beyond the level of a research trainee. An individual who has received previous funding from NIH or CDC as an independent PD/PI on a research grant (e.g., R01), as the project leader on a component of a program project or center grant (e.g., P01, P50, G12), or as PD/PI on an individual research career development award (e.g., K01, K02, K07, K08, and K23), or as a Scholar on an Institutional Career Development Award (K12, KL2) is not eligible.

Eligible Awards

For eligible awards, see the listing of Activity Codes under “Part 1. Overview Information.” Note however that not all participating components support all the activity codes listed in this NOFO. PD(s)/PI(s) at SBCs who are supported by an active grant or cooperative agreement may be eligible to work with their SBC to submit a request for an administrative supplement to the awarding component of the parent award. At the time of a supplemental award, the parent award must have support remaining for a reasonable period, which may vary by IC. Other policies may vary by agency and awarding IC. See Table of IC-Specific Information, Requirements and Staff Contacts for more details.

Proposed Research

In all cases, the proposed research experience must be an integral part of the approved, ongoing research of the parent award, and it must have the potential to contribute significantly to the research career development of the candidate. Applications for supplements must include a plan for the candidate to interact with other individuals on the parent grant, to contribute intellectually to the research, and to enhance her/his research skills and knowledge regarding the selected area of biomedical, behavioral, clinical, or social sciences as well as business and entrepreneurship. It must also provide evidence of a focus on the enhancement of the research and entrepreneurial capability of the individual and that the experience is intended to provide opportunities for development as a productive researcher and leader at a small business. In addition, it must demonstrate that the PD(s)/PI(s) is willing to provide appropriate mentorship.

Section IV. Application and Submission Information

1. Requesting an Application Package

Applicants must prepare applications using current forms in accordance with the How to Apply - Application Guide.

The application forms package specific to this opportunity must be accessed through ASSIST, Grants.gov Workspace or an institutional system-to-system solution. Links to apply using ASSIST or Grants.gov Workspace are available in Part 1 of this NOFO. See your administrative office for instructions if you plan to use an institutional system-to-system solution.

2. Content and Form of Application Submission

All forms must be completed for the supplemental activities only and must not reflect funding or activities for the previously awarded parent award.

It is critical that applicants follow the instructions for their submission option and the How to Apply - Application Guide, as appropriate. except where instructed in this NOFO to do otherwise. Conformance to documented requirements is required and strictly enforced. Applications that are out of compliance with these instructions may be delayed or not accepted for review.

All page limitations applicable to the parent award as described in the How to Apply- Application Guide and the Table of Page Limits for the activity code of the parent award must be followed.

The following section supplements the instructions found in the How to Apply- Application Guide and should be used for preparing an application to this NOFO.

• SF424 R&R Cover form: Select Revision in the Type of Application field.
• Research Plan form: The Research Strategy section should be completed and must include a summary or abstract of the funded parent award or project. Applications for supplements must include a plan for the candidate to interact with other individuals on the parent grant, to contribute intellectually to the research, and to enhance their research skills and knowledge regarding the selected area of biomedical, behavioral, clinical, or social science as well as business and entrepreneurship. It must also provide evidence of a focus on the enhancement of the research and entrepreneurial capability of the supplement candidate and that the experience is intended to provide opportunities for development as a productive researcher and leader at a small business. Applications should include a description of how the mentored research experience will contribute to the competitiveness of the candidate to transition into the next level in the biomedical, behavioral, clinical, or social sciences research and development pathway, as well as in entrepreneurship and business. In addition, it must demonstrate that the PD(s)/PI(s) is willing to provide active and individualized mentorship and has developed a mentoring plan to facilitate the research and career development of the candidate. Co-mentoring approaches and mentoring committees are encouraged. Applications must include a description of stage-appropriate opportunities for developing the skills required to conduct responsible, safe, and rigorous research and development. Provide a timeline for the Research Experience Plan that is appropriate for career stage of the candidate.
• Career Development and Mentorship Plan: An appropriate career development and mentorship plan for the candidate must be included in the application. The expectation is that the PI will prepare a tailored career development and mentorship plan that will include objectives and associated timelines for helping the candidate make the transition to the next stage of their research career. Required components of the career development and mentorship plan include:
  • A detailed description of proposed research and professional development activities specific to the candidate to expand and foster their research capabilities and skills to successfully move towards their short- and long-term career goals.
  • Details of mentor-candidate interactions. The plan should go well beyond simple laboratory assignments and supervision plans or stating that the candidate will attend seminars or lab meetings. The career development and mentorship plan should be structured, specific and stage-appropriate for the candidate and include parameters such as the frequency of meetings, topics to be discussed, and how progress will be monitored.
  • A projected timeline delineating specific research milestones and professional development activities that will be made to secure independent research funding (i.e., anticipated publications, grantsmanship workshops, timeframe for grant submissions and type of independent research support the candidate seeks).
  • A description of how the PI will assist the candidate in achieving the objectives and goals they have described in their candidate statement (see below).
  • The plan should take into account typical barriers and impediments encountered as part of the candidate's scientific and entrepreneurial training and may also address the unique challenges in gaining entry and progressing in the biomedical workforce that may be encountered by individuals from underrepresented groups, including but not limited to individuals from underrepresented racial and ethnic groups, individuals with disabilities, and individuals from disadvantaged backgrounds.
• Project/Performance Site Location form: Include the primary site where the proposed supplement activities will be performed. If a portion of the proposed supplement activities will be performed at any other site(s), identify the locations in the fields provided.
• Senior/Key Personnel Profile (Expanded) form: List the PD/PI as the first person (regardless of their role on the supplement activities). List the candidate to be supported through this supplement as the second person; if the SBC would like to request support for multiple individuals, it must submit a separate application for each.
  • List the PD/PI as the first person (regardless of their role on the supplement activities). List any other Senior/Key Personnel who are being added through this supplement.
  • Note: Candidates for supplement support must have an eRA Commons account and the candidate's Commons Username must be entered in the Credential field. Candidates should designate their specific role in the context of the project. Candidates are encouraged to have an ORCID iD linked to the individual's eRA Commons Personal Profile. Candidates are encouraged to follow the ORCID link from their Personal Profiles in the eRA Commons, where they can either link their eRA profiles to existing ORCID accounts or create ORCID profiles and link them back to the eRA Commons.
  • Biographical Sketch: Include a biosketch for the candidate, any mentors, and any senior or key persons directly involved in activities related to the supplement. Biosketches of mentors and other senior and key persons should provide evidence of past mentoring and training experience. Mentors should describe commitment to promoting inclusive and supportive scientific environments. The personal statement of the candidate's biographical sketch should address: 1) Evidence of scientific achievement or interest; 2) Any source(s) of current funding; 3) A statement from the candidate outlining their short- and long-term research objectives and career goals. The candidate must describe how the planned activities in the diversity supplement proposal are related to or will facilitate achievement of their career goals. If the PI has previously received support from a research supplement award(s), they must describe: a) the outcome of the previous supplement(s) including the current status of the candidate(s) (i.e., title of current position and name of institution); b) the outcomes of the prior development/mentorship plan; c) any unexpected positive or negative occurrences that affected specific aspects of the development/mentorship plan or success of the candidate(s); and d) how these prior experiences influenced the development/mentorship plan proposed for the current candidate(s).
• Budget forms (e.g., R&R Budget, PHS 398 Training Budget): Only include funds requested for the additional supplement activities.
• R&R Other Project Information form: If applicable, attach PDF documents in the "Other Attachments" field indicating that the proposed research experience was approved by the Institutional Animal Care and Use Committee (IACUC) or human subjects Institutional Review Board (IRB) at the grantee institution. Name the documents "IACUC Documentation.pdf" and/or "IRB Documentation.pdf". Adherence to the NIH and CDC, respective policies for including women and minorities in clinical studies must also be ensured, if additional human subjects' involvement is planned for the supplement.
  • Candidate Eligibility Statement: A signed statement from the PD(s)/PI(s) and a business official establishing the eligibility of the candidate for support under this program that must include clearly presented information on citizenship, and other eligibility criteria. See, Eligible Candidates for the Supplement Program section, above. The strength of this statement will be considered by the NIH or CDC administrative review committee, as applicable, along with all other material provided. Please note that the race, ethnicity, or sex of the candidate will not be considered in the application review process or when making funding decisions.
  • Home Institution Approval: Under unusual circumstances where the applicant and mentor would be at a site other than the grantee SBC, an appropriately signed letter from the institution where the research is to be conducted must also be submitted. The request must be signed by the PD/PI, the candidate, and the appropriate institutional business official(s).
  • Sub-recipient Approval: If any of the research is to be conducted at an organization other than the grantee institution, an appropriately signed letter from the institution where the research is to be conducted must be submitted. The request must be signed by the candidate, the PD/PI, and the appropriate institutional business official(s).
• PHS Human Subjects and Clinical Trials Information form: Only include a new or revised human subjects study record if these items do not change the scope of the approved project (e.g., new clinical trials cannot be added through an administrative supplement). If new recruitment or use of an additional existing dataset or resource is proposed in the supplement application, Section 2.4 should be revised and new Inclusion Enrollment Reports created, as appropriate.

3. Unique Entity Identifier and System for Award Management (SAM)

See Part 1. Section III.1 for information regarding the requirement for obtaining a unique entity identifier and for completing and maintaining active registrations in System for Award Management (SAM), NATO Commercial and Government Entity (NCAGE) Code (if applicable), eRA Commons, and Grants.gov

Part I. Overview Information contains information about Key Dates and Times. Applicants are encouraged to submit electronic applications before the due date to ensure they have time to make any application corrections that might be necessary for successful submission. When a submission date falls on a weekend or Federal holiday, the application deadline is automatically extended to the next business day.

Applicants are responsible for viewing their electronic application before the due date in the eRA Commons to ensure accurate and successful submission.

For electronic application submission, information on the submission process and a definition of on-time submission are provided in the How to Apply - Application Guide. 

5. Intergovernmental Review (E.O. 12372)

This initiative is not subject to intergovernmental review.

All NIH awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement. For CDC awards, all CDC awards are subject to the terms and conditions, cost principles, and other considerations described in the HHS Grants Policy Statement.

Pre-award costs are allowable only as described in the NIH Grants Policy Statement Section 7.9.1 Selected Items of Cost.

Awards are based on the current programmatic needs of the NIH or CDC awarding component, therefore investigators must contact their program officials at the NIH or CDC before applying (see Table of IC-Specific Information, Requirements and Staff Contacts).

Supplements for Established Investigators Who Are or Become Disabled

Support will be limited to items that will permit the investigator to complete the remaining years of a currently funded research project. This might include salary support for an individual who can assist the Established Investigator in meeting the goals of the research project, specialized equipment, or modifications of the working environment. In all cases, the requested support must be consistent with the type of disability and the nature of the approved research. The total amount of support requested under this supplement must be reasonable in relationship to the direct costs of the parent award and the Established Investigator's role and effort on the project. In future competing applications, funds for continuation of the accommodations provided under this supplement must be requested in the parent grant application and may NOT be requested as a research supplement.

Reasonable Accommodations: As part of these awards, funds may be requested to make changes or adjustments in the research setting that will make it possible for a qualified individual with a disability to perform the essential functions associated with his/her role on the project. The accommodations requested under this program must be directly related to the performance of the proposed role on the research project and must be appropriate to the disabilities of the individual. Some types of accommodations that might be provided under these awards include: specialized equipment, assistive devices, and personnel such as readers, interpreters, or assistants. In all cases, the total funds for accommodations requested from the supplement must be reasonable in relationship to the direct costs of the parent grant and the nature of the supplement award. See, Auxiliary Aids and Services for Postsecondary Students with Disabilities: Higher Education's Obligations Under Section 504 and Title II of the ADA, https://www2.ed.gov/about/offices/list/ocr/docs/auxaids.html; see also, Protecting Students With Disabilities: Frequently Asked Questions About Section 504 and the Education of Children with Disabilities, https://www2.ed.gov/about/offices/list/ocr/504faq.html.

Undergraduate Students: The salary for an undergraduate student should be consistent with SBC salary policies. Rates for undergraduate salary that exceed $12 per hour must be justified. An additional amount of $200 per month for supplies and travel may also be requested. Students are expected to devote the equivalent of at least three months of full-time effort to the research project and related activities in any one year; in most cases, the period of support for any individual should last at least two years. Exceptions to these requirements will be considered, depending on the circumstances of the applicant, the parent grant, and the specific request.

Baccalaureate and Master's Degree Holders: The salary for baccalaureate and master's degree holders should be reasonable and consistent with the SBC salary policies. Additional funds up to $3,000 per year may be requested for supplies and travel.

Graduate (Predoctoral) and Health Professional Students: The NIH and CDC will provide salary support in addition to other necessary expenses, such as supplies and travel, to enable the individual to participate as a graduate research assistant in a funded research project. The NIH and CDC will provide compensation that (1) conforms to the established, consistently applied salary and wage policies of the SBC and (2) reflects the percentage of time devoted to the PHS-funded project. Additional funds up to $4,000 per year may be requested for supplies and travel.

Individuals in Postdoctoral Training: The NIH and CDC will provide support for salary in addition to other necessary expenses, such as travel and supplies, to enable the candidate to participate as a postdoctoral research assistant or associate on the funded research project. The requested annual salary and fringe benefits must be in accordance with the salary structure of the SBC, consistent with the level of effort, and may not exceed the maximum allowable NRSA stipend level for postdoctoral fellows in effect at the time of appointment (see: https://researchtraining.nih.gov/programs/training-grants). However, exceptions to this rule may be made. Applicants must check with their program officials at the NIH before submitting an application. The supplement budget may include up to $6,000 for supplies and travel for the candidate.

Investigators Developing Independent Research Careers: The requested salary and fringe benefits for an investigator should be consistent with the level of support provided by NIH Career Development Awards. Participating NIH and CDC Institutes and Centers have varying salary caps (see: Table of IC-Specific Information, Requirements and Staff Contacts). Salary and fringe benefits must be in accordance with the salary structure of the SBC and must be consistent with the level of effort. Additional funds of up to $10,000 may be requested for supplies and travel. Equipment may be purchased but requires prior approval of the NIH or CDC awarding component. The maximum period of support for any investigator is usually two years.

Initial and Continued Funding

In most cases, during the first budget period for the supplement, funds will be provided as an administrative supplement to the parent grant. In subsequent years, continued funding for the supplement is contingent on continued funding of the parent grant and cannot extend beyond the current competitive segment of the parent grant and the availability of funds.

In Renewal (Type 2) applications, funds for continuation of support of the supplemental award will depend on the successful renewal of the parent grant and will be handled as follows:

• Funds for the continuation of support for students must be requested as a new supplement. The request must be submitted promptly in anticipation of a renewal award to avoid an interruption of support. Additional time may be considered for individuals with disabilities but must be well justified.
• Funds for continued support for a postdoctoral researcher or an investigator must be requested by name in the parent grant application at the time of renewal and may not be requested as a research supplement. Postdoctoral researchers and investigators are expected to be fully integrated in the research laboratory when considered for continuation of support.

Applications must be submitted using the instructions specified above.

Applicants must complete all required registrations prior to submission. Section III. Eligibility Information contains information about registration.

For assistance with your electronic application or for more information on the electronic submission process, visit How to Apply – Application Guide. If you encounter a system issue beyond your control that threatens your ability to complete the submission process on-time, you must follow the Dealing with System Issues guidance. For assistance with application submission contact the Application Submission Contacts in Section VII.

Important reminders:

For applications submitted electronically on the SF424 (R&R) Application forms, all PD(s)/PI(s) must include their eRA Commons ID in the Credential field of the Senior/Key Person Profile form. Failure to register in the eRA Commons and to include a valid PD/PI Commons ID in the credential field will prevent the successful submission of an electronic application to NIH.

The applicant organization must ensure that the unique entity identifier provided on the application is the same identifier used in the organization’s profile in the eRA Commons and for the System for Award Management. Additional information may be found in the How to Apply - Application Guide.

Recipients or subrecipients must submit any information related to violations of federal criminal law involving fraud, bribery, or gratuity violations potentially affecting the federal award. See Mandatory Disclosures, 2 CFR 200.113 and NIH Grants Policy Statement Section 4.1.35.

Send written disclosures to the NIH Chief Grants Management Officer listed on the Notice of Award for the IC that funded the award and to the HHS Office of Inspector Grant Self Disclosure Program at grantdisclosures@oig.hhs.gov. 

Not Applicable

Section V. Application Review Information

1. Criteria

Administrative Supplements do not receive peer review. Instead, the administrative criteria described below will be considered in the administrative evaluation process.

The staff of the NIH or CDC awarding component, as applicable, will evaluate requests for a supplement consistent with applicable law to determine its overall merit. The following general criteria will be used:

Budget and Period of Support

NIH and CDC staff will consider whether the budget and the requested period of support are fully justified and reasonable in relation to the proposed research.

Overall Impact

NIH and CDC staff will consider the ability of the proposed supplement activities to increase or preserve the parent award’s overall impact within the original scope of award:

• The qualifications of the candidate including career goals, prior research training, research potential, and any relevant experience.
• Evidence of educational achievement and interest in science (if the candidate is a student).
• Evidence of interest in business and entrepreneurship.
• The strength of the description of how this appointment will promote the goals of this program.
• The plan and timeline for the proposed research and career development experiences in the supplemental request and their relationship to the parent grant.
• Evidence that the proposed experience will expand and foster the research and entrepreneurial capabilities, knowledge, and/or skills of the candidate.
• Evidence that the activities of the candidate will be an integral part of the project.
• Evidence of adequate mentoring experience and success.
• Evidence that the candidate will receive research and entrepreneurial career mentoring.
• Evidence of the mentoring experience of the PD/PI.

In addition, each of the following criteria will be evaluated as applicable for the proposed supplement. 

Protections for Human Subjects

For research that involves human subjects but does not involve one of the categories of research that are exempt under 45 CFR Part 46, the committee will evaluate the justification for involvement of human subjects and the proposed protections from research risk relating to their participation according to the following five review criteria: 1) risk to subjects, 2) adequacy of protection against risks, 3) potential benefits to the subjects and others, 4) importance of the knowledge to be gained, and 5) data and safety monitoring for clinical trials.

For research that involves human subjects and meets the criteria for one or more of the categories of research that are exempt under 45 CFR Part 46, the committee will evaluate: 1) the justification for the exemption, 2) human subjects involvement and characteristics, and 3) sources of materials. For additional information on review of the Human Subjects section, please refer to the Guidelines for the Review of Human Subjects.

Inclusion of Women, Minorities, and Individuals Across the Lifespan

When the proposed project involves human subjects and/or NIH-defined clinical research, the committee will evaluate the proposed plans for the inclusion (or exclusion) of individuals on the basis of sex/gender, race, and ethnicity, as well as the inclusion (or exclusion) of individuals of all ages (including children and older adults) to determine if it is justified in terms of the scientific goals and research strategy proposed. For additional information on review of the Inclusion section, please refer to the Guidelines for the Review of Inclusion in Clinical Research. 

Vertebrate Animals

The committee will evaluate the involvement of live vertebrate animals as part of the scientific assessment according to the following three points: (1) a complete description of all proposed procedures including the species, strains, ages, sex, and total numbers of animals to be used; (2) justifications that the species is appropriate for the proposed research and why the research goals cannot be accomplished using an alternative non-animal model; and (3) interventions including analgesia, anesthesia, sedation, palliative care, and humane endpoints that will be used to limit any unavoidable discomfort, distress, pain and injury in the conduct of scientifically valuable research. Methods of euthanasia and justification for selected methods, if NOT consistent with the AVMA Guidelines for the Euthanasia of Animals, is also required but is found in a separate section of the application. For additional information on review of the Vertebrate Animals Section, please refer to the Worksheet for Review of the Vertebrate Animals Section.

Biohazards

NIH staff will assess whether materials or procedures proposed are potentially hazardous to research personnel and/or the environment, and if needed, determine whether adequate protection is proposed.

2. Review and Selection Process

Administrative supplement requests will undergo an administrative evaluation by NIH staff, but not a full peer review. Applications submitted for this funding opportunity will be assigned to the awarding component for the parent award and will be administratively evaluated using the criteria shown above, consistent with applicable law.

Prior to making an award, NIH reviews an applicant’s federal award history in SAM.gov to ensure sound business practices. An applicant can review and comment on any information in the Responsibility/Qualification records available in SAM.gov.  NIH will consider any comments by the applicant in the Responsibility/Qualification records in SAM.gov to ascertain the applicant’s integrity, business ethics, and performance record of managing Federal awards per 2 CFR Part 200.206 “Federal awarding agency review of risk posed by applicants.”  This provision will apply to all NIH grants and cooperative agreements except fellowships.

3. Anticipated Announcement and Award Dates

Not Applicable

Section VI. Award Administration Information

1. Award Notices

A Notice of Award (NoA) is the official authorizing document notifying the applicant that an award has been made and that funds may be requested from the designated HHS payment system or office. This may be as an NoA for the supplemental activities only; alternatively, it may be as either a revision to the current year NoA or included as part of a future year NoA. The NoA is signed by the Grants Management Officer and emailed to the recipient’s business official.

In accepting the award, the recipient agrees that any activities under the award are subject to all provisions currently in effect or implemented during the period of the award, other Department regulations and policies in effect at the time of the award, and applicable statutory provisions. 

Recipients must comply with any funding restrictions described in Section IV.6. Funding Restrictions. Any pre-award costs incurred before receipt of the NoA are at the applicant's own risk.  For more information on the Notice of Award, please refer to the NIH Grants Policy Statement Section 5. The Notice of Award and NIH Grants & Funding website, see Award Process.

Any application awarded in response to this NOFO will be subject to terms and conditions found on the Award Conditions and Information for NIH Grants website or the CDC General Terms and Conditions for Research Awards website, as applicable. This includes any recent legislation and policy applicable to awards that is highlighted on this website. When calculating the award for additional funds, NIH or CDC will 1) prorate funding if the requested budget period is adjusted at the time of award, and 2) use the institution’s current F&A rate; i.e., the rate in effect when the new funding is provided.

2. Administrative and National Policy Requirements

The following Federal-wide and HHS-specific policy requirements apply to awards funded through NIH:

• The rules listed at 2 CFR Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards.
• All NIH grant and cooperative agreement awards include the NIH Grants Policy Statement as part of the terms and conditions in the Notice of Award (NoA). The NoA includes the requirements of this NOFO. For these terms of award, see the NIH Grants Policy Statement Part II: Terms and Conditions of NIH Grant Awards, Subpart A: General and Part II: Terms and Conditions of NIH Grant Awards, Subpart B: Terms and Conditions for Specific Types of Grants, Recipients, and Activities. 
• Should the applicant organization successfully compete for an award, recipients of federal financial assistance (FFA) from HHS will be required to complete an HHS Assurance of Compliance form (HHS 690) in which the recipient agrees, as a condition of receiving the grant, to administer programs in compliance with federal civil rights laws that prohibit discrimination on the basis of race, color, national origin, age, sex and disability, and agreeing to comply with federal conscience laws, where applicable. This includes ensuring that entities take meaningful steps to provide meaningful access to persons with limited English proficiency; and ensuring effective communication with persons with disabilities. Where applicable, Title XI and Section 1557 prohibit discrimination on the basis of sexual orientation, and gender identity, The HHS Office for Civil Rights provides guidance on complying with civil rights laws enforced by HHS. See https://www.hhs.gov/civil-rights/for-providers/provider-obligations/index.html and https://www.hhs.gov/civil-rights/for-individuals/nondiscrimination/index.html.
  • HHS recognizes that NIH research projects are often limited in scope for many reasons that are nondiscriminatory, such as the principal investigator’s scientific interest, funding limitations, recruitment requirements, and other considerations. Thus, criteria in research protocols that target or exclude certain populations are warranted where nondiscriminatory justifications establish that such criteria are appropriate with respect to the health or safety of the subjects, the scientific study design, or the purpose of the research. For additional guidance regarding how the provisions apply to NIH grant programs, please contact the Scientific/Research Contact that is identified in Section VII under Agency Contacts of this NOFO.

All federal statutes and regulations relevant to federal financial assistance, including those highlighted in NIH Grants Policy Statement Section 4 Public Policy Requirements, Objectives and Other Appropriation Mandates.

Recipients are responsible for ensuring that their activities comply with all applicable federal regulations.  NIH may terminate awards under certain circumstances.  See 2 CFR Part 200.340 Termination and NIH Grants Policy Statement Section 8.5.2 Remedies for Noncompliance or Enforcement Actions: Suspension, Termination, and Withholding of Support. 

Any supplements to Cooperative Agreements will be subject to the same Cooperative Agreement terms and conditions as the parent award.

3. Data Management and Sharing

Consistent with the 2023 NIH Policy for Data Management and Sharing, when data management and sharing is applicable to the award, recipients will be required to adhere to the Data Management and Sharing requirements as outlined in the NIH Grants Policy Statement. Upon the approval of a Data Management and Sharing Plan, it is required for recipients to implement the plan as described.

 SBIR and STTR recipients may retain the rights to data generated during the performance of an SBIR or STTR award for up to 20 years after the award date, per the Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) Program Policy Directive. An acceptable Data Management and Sharing plan can reference and incorporate these data rights. Further information about SBIR and STTR data rights are enumerated in the NIH GPS.

4. Reporting

Reporting requirements will be specified in the terms and conditions of award as applicable to the supplemental activities. In most non-competing continuation applications, the progress report and budget for the supplement must be included with, but clearly delineated from, the progress report and budget for the parent award. The progress report must include information about the activities supported by the supplement even if support for future years is not requested. Continuation of support for the supplement activities in the remaining years of the competitive segment of the grant will depend upon satisfactory review by the NIH awarding component of progress for both the parent award and the supplement project, the research proposed for the next budget period, and the appropriateness of the proposed budget for the proposed effort. This information is submitted with the Research Performance Progress Report (RPPR) and financial statements as required in the NIH Grants Policy Statement Section 8.4.1 Reporting.  To learn more about post-award monitoring and reporting, see the NIH Grants & Funding website, see Post-Award Monitoring and Reporting. 

Post award, NIH will review and measure performance based on the details and outcomes that are shared within the RPPR, as described at 2 CFR 200.301.

Disclosure of Foreign Relationships Reporting Requirements

Recipients are responsible for monitoring their relationships with foreign countries of concern post-award, for any changes that may impact previous disclosures. SBCs receiving an award under the SBIR/STTR program are required to submit an updated Disclosure Form to report any of the following changes to NIH, CDC, and FDA throughout the duration of the award:

• any change to a disclosure on the Disclosure Form;
• any material misstatement that poses a risk to national security; and
• any change of ownership, change to entity structure, or other substantial change in circumstances of the SBC that NIH, CDC, and FDA determine poses a risk to national security.

Regular, annual updates are required at the time of all SBIR/STTR annual, interim, and final Research Performance Progress Reports (RPPRs). For changes that occur between RPPR submissions, recipients must request prior approval from NIH for legal actions such as merger, acquisition, and successor-in-interest or any other change in ownership, entity structure, covered individual, or other substantive changes in circumstances no later than 30 days before the proposed change.  See NIH Grants Policy Statement 8.1.3 Requests for Prior Approval and NIH Grants Policy Statement 18.5.2.2 Change in Organization Size & Change of Recipient Institution Actions for more details.  Disclosure Forms are required for any changes as described above. Recipients are required to upload these updated disclosures using the Additional Materials (AM) tool in eRA Commons.

If the recipient reports a covered foreign relationship that meets any of the risk criteria prohibiting funding described in this NOFO, NIH, CDC, and FDA may deem it necessary to terminate the award for material failure to comply with the federal statutes, regulations, or terms and conditions of the federal award. Refer to NIH Grants Policy Statement Section 8.5.2 Remedies for Noncompliance or Enforcement Actions: Suspension, Termination, and Withholding of Support for more information. Recipients are encouraged to monitor their covered foreign relationships post-award and avoid entering into relationships, both funded and unfunded, that may pose a security risk and jeopardize their ability to retain their award.

Agency Recovery Authority and Repayment of Funds

An SBC will be required to repay all amounts received from NIH, CDC, and FDA under the award if either of the following determinations are made upon assessment of a change to their disclosure:

• the SBC makes a material misstatement that NIH, CDC, and FDA determine poses a risk to national security; or
• there is a change in ownership, change in entity structure, or other substantial change in circumstances of the SBC that NIH, CDC, and FDA determine poses a risk to national security.

The repayment requirements and procedures provided in Section 8.5.4 Recovery of Funds of the NIH GPS apply and may also be subject to additional noncompliance and enforcement actions as described in Section 8.5.2 of the GPS. Recipients are required to follow the repayment procedures provided in the Guidance for Repayment of Grant Funds to the NIH.

5. Evaluation

In carrying out its stewardship of human resource-related programs, the NIH and CDC may request information essential to an assessment of the effectiveness of this program from databases and from participants themselves. Participants may be contacted after the completion of this award for periodic updates on various aspects of their employment history, publications, support from research grants or contracts, honors and awards, professional activities, and other information helpful in evaluating the impact of the program.

Within ten years of making awards under this program, NIH and CDC will assess the program's overall outcomes, gauge its effectiveness in achieving its goals, and consider whether there is a continuing need for the program. Upon the completion of this evaluation, NIH and CDC will determine whether to (a) continue the program as currently configured, (b) continue the program with modifications, or (c) discontinue the program.

In evaluating this program, NIH and CDC expects to use the following evaluation measures:

Undergraduate Students:

• Aggregate number and demographic characteristics of participants
• Subsequent educational/career progress of participants, including:
  • Successful completion of an undergraduate degree in a STEM field
  • Enrollment in an advanced degree program in a STEM field

Graduate Students:

• Aggregate number and demographic characteristics of participants
• Subsequent educational/career progress of participants, including:
  • Successful completion of a STEM graduate program
  • Subsequent participation in a formal research training or career development program in a STEM field
  • Subsequent participation in research
  • Subsequent employment in a research or research-related field
  • Subsequent authorship of scientific publications in a STEM field
  • Subsequent independent research grant support from NIH, CDC, or another source
  • Participation in an SBIR or STTR grant
  • Entrepreneurial activities

Postdoctoral Researchers and Early Career Investigators:

• Aggregate number and demographic characteristics of participants
• Subsequent educational/career progress of participants, including:
  • Subsequent participation in research
  • Subsequent employment in a research or research-related field
  • Subsequent authorship of scientific publications in a STEM field
  • Subsequent independent research grant support from NIH, CDC, or another source
  • Participation in an SBIR or STTR grant
  • Entrepreneurial activities
  • Obtaining a permanent position at an SBC
  • Advancement or appointment to a C-level position at an SBC

Section VII. Agency Contacts

We encourage inquiries concerning this funding opportunity and welcome the opportunity to answer questions from potential applicants.

eRA Service Desk (Questions regarding ASSIST, eRA Commons, application errors and warnings, documenting system problems that threaten submission by the due date, and post-submission issues)

Finding Help Online: https://www.era.nih.gov/need-help (preferred method of contact)
Telephone: 301-402-7469 or 866-504-9552 (Toll Free)

General Grants Information (Questions regarding application instructions, application processes, and NIH grant resources)
Email: GrantsInfo@nih.gov (preferred method of contact)
Telephone: 301-480-7075

Grants.gov Customer Support (Questions regarding Grants.gov registration and Workspace)
Contact Center Telephone: 800-518-4726
Email: support@grants.gov

See Table of IC-Specific Information, Requirements and Staff Contacts

Not Applicable

See Table of IC-Specific Information, Requirements and Staff Contacts

Section VIII. Other Information

Recently issued trans-NIH policy notices may affect your application submission. A full list of policy notices published by NIH is provided in the NIH Guide for Grants and Contracts. All awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement. For CDC awards, all awards are subject to the terms and conditions, cost principles, and other considerations described in the HHS Grants Policy Statement.

Awards are made under the authorization of Sections 301 and 405 of the Public Health Service Act as amended (42 USC 241 and 284) and under Federal Regulations 42 CFR Part 52 and 2 CFR Part 200.

The SBIR Program is mandated by the Small Business Innovation Development Act of 1982 (P.L. 97-219), reauthorizing legislation (P.L. 99-443) P.L. 102-564, P.L. 112-81 (SBIR/STTR Reauthorization Act of 2011), as reauthorized and extended under P.L. 114-328, Section 1834, P.L. 115-232, and P.L. 117-183. The STTR Program is mandated by the Small Business Reauthorization Act of 1997 (P.L. 105-135), and reauthorizing legislation, P.L. 107-50, P.L. 112-81 (SBIR/STTR Reauthorization Act of 2011), as reauthorized and extended under P.L. 114-328, Section 1834, P.L. 115-232, and P.L. 117-183. The basic design of the NIH and CDC SBIR and STTR Programs are in accordance with the Small Business Administration (SBA) Policy Directive.